DFX Intelligence
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Registered advisor
A••••• S•••
Feed of 09/14/2026
Also filed as A••••• M• S••••••••• M•••• S•••
At current firm
2 y
since Oct 24, 2023
In the industry
23 y
since Apr 7, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 24, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 21, 2009 to Sep 22, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 18, 2007 to Sep 24, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2003 to Apr 27, 2005 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 22, 2023, registered Oct 24, 2023 (32 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 24, 2009, registered Dec 21, 2009 (88 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 27, 2005, registered May 18, 2007 (751 days) · Other
Signals
- ••• LockedSep 22, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address